This paper discusses some social correlates of the design and the implementation of forestry proj... more This paper discusses some social correlates of the design and the implementation of forestry projects. The cultural/ behavioral variables associated with forest development are rarely examined by social scientists. Yet these variables are of crucial relevance to the design and the implementation of such programs. Recent concerns about energy and fuelwood production are sharpening the cultural awareness of technical developers and foresters alike with respect to the sociological and behavioral dimensions of their projects. The Hill Farming Technical Development Project, undertaken in 1978 in Pakistan-Azad Kashmir-with assistance from the World Bank, is a case in point, notably with respect to the role of land tenure systems and their sociological implications. This case is analyzed in the present paper, together with some relevant experiences from other forestry projects. The emphasis is accordingly placed on those social-operational issues confronted by this pilot forestry development program which may be relevant to similar situations elsewhere in the developing world. Particular attention is paid to the lack of congruity between assumed and actual land tenure systems. Further, the paper reviews and discusses the set of social and economic issues involved in the basic policy question of subsidizing or not subsidizing reforestation programs. Alternative development strategies , involving mobilization of small and/or larger farmers, are suggested, with particular sociological consideration of the potential roles of farmers' self-help strategies, of institutional issues, forestry cooperatives and of beneficiary participation for partial cost recovery of forestry plantations.
Todos derechos reservados Hecho en los Estados Unidos de América Primera impresión: septembre de ... more Todos derechos reservados Hecho en los Estados Unidos de América Primera impresión: septembre de 1989 Los Documentos para discusión no son publicaciones oficiales del Banco Mundial. En ellos se presentan los resultados preliminares y sin refinar de los análisis económicos sobre países o de las investigaciones realizadas, los cuales se difunden con objeto de alentar el debate y los comentarios; al utilizar o citar material de tales trabajos se deberá tener en cuenta su carácter provisional. Los resultados, interpretaciones y conclusiones expresados en este documento son achacables enteramente a su autor o autores y no deberán atribuirse en modo alguno al Banco Mundial, a sus instituciones afiliadas ni a los Directores Ejectutivos o a los países por ellos representados. Cualesquiera mapas insertos en el texto han sido preparados únicamente para comodidad de los lectores; los nombres empleados en ellos y la presentatción de datos en los mismos no suponen juicio alguno por parte del Banco Mundial, sus afiliadas, su Directorio o sus países mniembros respecto de la situación jurídica de ningún país, territorio, ciudad o región, o de sus autoridades, ni tampoco acerca de la delimitación de sus fronteras o su afiliación nacional. Debido a la índole no oficial del documento y con objeto de ofrecer los resultados de las investigaciones con la menor demora posible, el manuscrito no ha sido preparado de conformidad con los procedimnientos apropiados en el caso de los textos impresos oficiales y el Banco Mundial no acepta responsabilidad alguna por los posibles errores. El material contenido en esta publicación está registrado como propiedad literaria (copyright). Las solicitudes de autorización para reproducir partes de ésta deben dirigirse a: Director, Publications
Working with Local Organizations 495 Conclusions 502 Notes PART IX. COLLECTION OF SOCIAL DATA Edi... more Working with Local Organizations 495 Conclusions 502 Notes PART IX. COLLECTION OF SOCIAL DATA Editor's Note 513 14 Shortcut and Participatory Methods for Gaining Social Information for Projects Robert Chambers 515 Information: What and Whose 515 The Two Traps of Outsiders 518 In Search of Cost-effectiveness: Rapid Rural Appraisal 521 The Menu of Methods 523 Participatory Rural Appraisal 527 Potentials and Dangers 529 Conclusion 533 Notes 534 Notes on the Contributors 538 Index 545 xiii PREFACE the formulation of policy principles and institutional planning procedures was made successfully; it explores ways to overcome disciplinary limitations in social sciences; and it discusses new, recently invented or tested, rapid and participatory procedures for generating information. Altogether, the new edition strengthens the argument that sociological analysis brings an increment of professional precision to the thinking and practice of induced development. The authors of this volume look forward to receiving as rich a feedback to this second edition as we did to the first. As editor, I full-heartedly encourage our readers-development practitioners and social scientists, teachers and students-to write and share their views, questions and comments about this volume with us. Michael M. Cemea * The stages of the project cycle. To increase the operational relevance of the book, we have used the project cycle paradigm and discussed the sociologist's task and potential contributions within the broad framework of the main project stages: identification, xvii PREFACE stand and use it to enhance the social quality of the design and strategies of their projects. Social scientists themselves, learning how to work in development interventions, will, we hope, find some guidance for making their efforts more relevant to the concrete needs of development-oriented research and operational work.
Involuntary population displacements and resettlement entailed by development programs have reach... more Involuntary population displacements and resettlement entailed by development programs have reached a magnitude and frequency that give these phenomena worldwide relevance and require policy-guided solutions. The author extracts the general trends and common characteristics revealed by a vast body of empirical data, to construct a theoretical model of displacement and reconstruction. The model captures the socioeconomic content of both segments of the process: forced displacement and reestablishment. It identifies the key risks and impoverishment processes in displacement as: (al landlessness; (b)joblessness; (c) homelessness; (d) marginalization: (e) food insecurity; (f) loss of access to common property resources; (g) increased morbidity; and (h) community disarticulation. Conversely, the model suggests that reconstructing and improving the livelihood of those displaced require riskreversals through explicit strategies backed up by adequate financing. Flawed approaches to reconstruction and the intrinsic limitations of cost-benefit analysis are discussed. The paper shows how the proposed model can be used by practitioners and researchers as a diagnostic tool, a predictive tool, a problem-resolution tool and a research-guidance tool.
How does development economics address the issue of gains and losses from the displacement that i... more How does development economics address the issue of gains and losses from the displacement that inevitably accompanies many development processes? This paper argues that economists have struggled mightily between the core criterion of a "Pareto improvement", which vests individuals with infinite rights in their current standard of living, and its deeply conservative implications—both that it would prevent redistribution away from the rich, and that it would stop most projects from ever taking place. Where they have got to conceptually is a compromise, through using distributionally sensitive weights to evaluate the gains and losses of a project. In practice, however, systematic use of such weights in project appraisal or cost-benefit analysis is rare. Apart from advocating such use, which is true to the spirit of the conceptual position reached in economics, the paper argues that specific compensation mechanisms and generalised safety nets will reduce tensions between prot...
This compendium brings together two papers on cost-benefit analysis and the compensation principl... more This compendium brings together two papers on cost-benefit analysis and the compensation principle in the context of resettlement. Ravi Kanbur’s paper, “Development Economics and The Compensation Principle, ” presents an account of economic thinking, while Michael Cernea’s paper, “For a New Economics of Resettlement: A Sociological Critique of the Compensation Principle, ” presents an analysis from the perspective of a sociologist. Earlier versions of the papers were presented at the Cornell conference on Displacement, November
The editors and editorial board of "Human Organization" 1 are pleased to introduce readers to the... more The editors and editorial board of "Human Organization" 1 are pleased to introduce readers to the following oral history interview with Michael M. Cernea, a development social scientist who has militated throughout his academic career and applied work for "putting people first", in the forefront of development projects and policies. Working for a long time for the promotion of anthropological and sociological knowledge, either in the activities of the World Bank or in the policies and programs of governments of both developed and developing countries, Dr. Cernea cleared pathways for applied social science that are sure to benefit people in development settings for many years to come. Undoubtedly many readers already know Dr. Cernea's work well, especially those of us who teach the anthropology of development or work in applied settings and organizations, but this interview embeds his broad body of work into a personal, human, and at times tragic context that opens with brushes with death, Nazi brutality, and exile. It also provides valuable insights for carrying out the work of development anthropologists within large-scale organizations and governments. This interview with Dr. Cernea was conducted by Dr. Judith Freidenberg, of the University of Maryland, on June 30, 2003, for the Society for Applied Anthropology Oral History Project, headquartered at the University of Kentucky Libraries. This Project aims to create, through the vehicle of oral histories, a record of the life, activities and experiences of a number of selected scholars-anthropologists who devoted a great part of their scientific work to research, to applied work in different settings, to inducing development, including to hands-on work on crafting public social policies and actual development programs. The present transcript of the interview was reviewed by both participants for editorial purposes. Michael M. Cernea expanded some of his oral responses, for historical accuracy or to add relevant elements and facts not provided in the initial oral interaction. Some of the comments made, or questions asked, by Judith Freidenberg were also edited for fluency purposes, to help frame the various parts of the dialogue better. The overall content and structure of the interview were preserved. The subtitles were added during Human Organization's preparation and editing of the text for print.
This paper states that to attain good environmental management it is utterly insufficient to addr... more This paper states that to attain good environmental management it is utterly insufficient to address the environmental requirements alone, instead the sociological variables must also be addressed. These variables are paramount for the use of natural resources by people. The second part presents the case of a successful regional development strategy, grassland and water resource management, in Eastern Senegal, a semi-arid area of West Africa. . The author briefly describes the experience creating an user-based system of managing resources and derives more widely applicable lessons. The paper concludes that the most important factor for success was the presence of a clearly conceptualized and effective operations strategy for building organization structures at the local level in contrast to a simple 'technical package' without sustaining social and institutional local structures.
Les deplacements forces et reinstallations de populations consecutifs a des programmes de develop... more Les deplacements forces et reinstallations de populations consecutifs a des programmes de developpement ont atteint une ampleur et une frequence telles qu'ils sont reconnus comme des phenomenes universels et necessitent des solutions regies par des politiques specialisees. L'auteur identifie les tendances generales revelees par le vaste corpus de donnees empiriques en matiere de reinstallation, pour ensuite esquisser un modele theorique de deplacement et de reconstruction. Ce modele tire avantage des toutes dernieres recherches en matiere de reinstallation et propose un large cadre theorique pour diagnostiquer et anticiper les risques d'appauvrissement. Ce cadre peut servir d'outil operationnel. Le modele suggere egalement que la reconstruction et l'amelioration des moyens d'existence des personnes deplacees exigent une lutte pour renverser les risques de pauperisation au moyen de strategies soutenues par un financement adequat. L'auteur critique les appr...
The region needs good leadership that unites rather than divides; that builds rather than destroy... more The region needs good leadership that unites rather than divides; that builds rather than destroys; that reaches out and is not introverted or locked in ethnic prejudices; that is confident and not insecure; that is transparent and not corrupt; that is humble and not aggressive and arrogant; and that is patient and not intolerant. Above all, the Great Lakes requires leadership that forges a collective vision.
The issues related to the central topic of this conference-"Indigenous Anthropology in Non-Wester... more The issues related to the central topic of this conference-"Indigenous Anthropology in Non-Western Countries"-encompass a broad and complex span of theoretical and epistemological problems. My own angle in approaching this topic, however, is not exclusively a theoretical one. I am also interested in the possible consequences of the concept "indigenous anthropology" on applied anthropological research in developing countries and on the contribution of anthropologists from both western and non-western countries to development programs. More specifically, I am interested in how research carried out by anthropologists from developing countries contributes to social change in their own countries. Sharng my experience both as a field researcher from a non-westem culture and as a sociologist working within an international development agency, I will attempt to bring to your attention some of the issues involved in the actual use of anthropological knowledge by an international agency for operational development purposes. This may possibly bring our discussions closer to the practical relevance of the anthropological endeavor and clarify whether the issue of so-called "indigenous" versus "non-indigenous" field research has any consequence on the uses of the knowledge generated by this research.
Many public and private sector projects, such as hydropower dams or mines, trigger forced populat... more Many public and private sector projects, such as hydropower dams or mines, trigger forced population displacement but fail to resettle people sustainably and instead cause their impoverishment. Social science research has found that one root cause of such failures and of impoverishment is asset dispossession and the insufficient financing of resettlement. Most governments, however, state that (1) compensation alone is sufficient for restoring the income and livelihood of those displaced, and (2) resources to supplement compensation with additional financing are not available. The author critiques and rejects these positions. He offers a theoretical analysis of the limits and flaws of compensation payments for expropriated assets, and argues that resources are available for supplementing compensation with financial investments for resettlers' development. The sources for supplementary financing are the economic rent (windfall profits) generated by natural resource projects such as hydropower or mining and the regular stream of benefits generated by all projects that require resettlement. Further, the author argues that financial investments in resettlers' welfare are indispensable and that benefit sharing is feasible. Therefore, both should become basic principles of resettlement legislation and practice. In addition to theoretical analysis, the author documents with empirical evidence that some countries (China, Brazil, Canada, Columbia and Japan) already make investments additional to compensation for post-displacement reconstruction. The author sums up his argument in these key points: (1).Compensation alone cannot prevent the impoverishment of resettlers and cannot in itself restore and improve their livelihoods; (2).Additional financing is needed for direct investments in resettlement with development; (3).Compensation levels must be increased; (4).Financing resources are available in most cases for investing in resettlers' development, but allocation of investments depends on the political will of governments and project owners; (5).Firm opposition to displacement and under-compensation is growing in many countries and the strength of resettlers' demands and political opposition does influence allocation levels; (6).Mechanisms for benefit sharing and transfer are known and effective and these mechanisms can be adjusted to different country and economic sector conditions; (7).The introduction of benefit-sharing rules requires legislative enactment for robust application.
Bordeaux. 16 Deux textes publiés tout récemment dans Blundo ont abordé cette question pour la pre... more Bordeaux. 16 Deux textes publiés tout récemment dans Blundo ont abordé cette question pour la première fois à notre connaissance. Il s'agit de G. Blundo, Olivier de Sardan, de L. Dartigues et E. de Lescure.
This paper discusses some social correlates of the design and the implementation of forestry proj... more This paper discusses some social correlates of the design and the implementation of forestry projects. The cultural/ behavioral variables associated with forest development are rarely examined by social scientists. Yet these variables are of crucial relevance to the design and the implementation of such programs. Recent concerns about energy and fuelwood production are sharpening the cultural awareness of technical developers and foresters alike with respect to the sociological and behavioral dimensions of their projects. The Hill Farming Technical Development Project, undertaken in 1978 in Pakistan-Azad Kashmir-with assistance from the World Bank, is a case in point, notably with respect to the role of land tenure systems and their sociological implications. This case is analyzed in the present paper, together with some relevant experiences from other forestry projects. The emphasis is accordingly placed on those social-operational issues confronted by this pilot forestry development program which may be relevant to similar situations elsewhere in the developing world. Particular attention is paid to the lack of congruity between assumed and actual land tenure systems. Further, the paper reviews and discusses the set of social and economic issues involved in the basic policy question of subsidizing or not subsidizing reforestation programs. Alternative development strategies , involving mobilization of small and/or larger farmers, are suggested, with particular sociological consideration of the potential roles of farmers' self-help strategies, of institutional issues, forestry cooperatives and of beneficiary participation for partial cost recovery of forestry plantations.
Todos derechos reservados Hecho en los Estados Unidos de América Primera impresión: septembre de ... more Todos derechos reservados Hecho en los Estados Unidos de América Primera impresión: septembre de 1989 Los Documentos para discusión no son publicaciones oficiales del Banco Mundial. En ellos se presentan los resultados preliminares y sin refinar de los análisis económicos sobre países o de las investigaciones realizadas, los cuales se difunden con objeto de alentar el debate y los comentarios; al utilizar o citar material de tales trabajos se deberá tener en cuenta su carácter provisional. Los resultados, interpretaciones y conclusiones expresados en este documento son achacables enteramente a su autor o autores y no deberán atribuirse en modo alguno al Banco Mundial, a sus instituciones afiliadas ni a los Directores Ejectutivos o a los países por ellos representados. Cualesquiera mapas insertos en el texto han sido preparados únicamente para comodidad de los lectores; los nombres empleados en ellos y la presentatción de datos en los mismos no suponen juicio alguno por parte del Banco Mundial, sus afiliadas, su Directorio o sus países mniembros respecto de la situación jurídica de ningún país, territorio, ciudad o región, o de sus autoridades, ni tampoco acerca de la delimitación de sus fronteras o su afiliación nacional. Debido a la índole no oficial del documento y con objeto de ofrecer los resultados de las investigaciones con la menor demora posible, el manuscrito no ha sido preparado de conformidad con los procedimnientos apropiados en el caso de los textos impresos oficiales y el Banco Mundial no acepta responsabilidad alguna por los posibles errores. El material contenido en esta publicación está registrado como propiedad literaria (copyright). Las solicitudes de autorización para reproducir partes de ésta deben dirigirse a: Director, Publications
Working with Local Organizations 495 Conclusions 502 Notes PART IX. COLLECTION OF SOCIAL DATA Edi... more Working with Local Organizations 495 Conclusions 502 Notes PART IX. COLLECTION OF SOCIAL DATA Editor's Note 513 14 Shortcut and Participatory Methods for Gaining Social Information for Projects Robert Chambers 515 Information: What and Whose 515 The Two Traps of Outsiders 518 In Search of Cost-effectiveness: Rapid Rural Appraisal 521 The Menu of Methods 523 Participatory Rural Appraisal 527 Potentials and Dangers 529 Conclusion 533 Notes 534 Notes on the Contributors 538 Index 545 xiii PREFACE the formulation of policy principles and institutional planning procedures was made successfully; it explores ways to overcome disciplinary limitations in social sciences; and it discusses new, recently invented or tested, rapid and participatory procedures for generating information. Altogether, the new edition strengthens the argument that sociological analysis brings an increment of professional precision to the thinking and practice of induced development. The authors of this volume look forward to receiving as rich a feedback to this second edition as we did to the first. As editor, I full-heartedly encourage our readers-development practitioners and social scientists, teachers and students-to write and share their views, questions and comments about this volume with us. Michael M. Cemea * The stages of the project cycle. To increase the operational relevance of the book, we have used the project cycle paradigm and discussed the sociologist's task and potential contributions within the broad framework of the main project stages: identification, xvii PREFACE stand and use it to enhance the social quality of the design and strategies of their projects. Social scientists themselves, learning how to work in development interventions, will, we hope, find some guidance for making their efforts more relevant to the concrete needs of development-oriented research and operational work.
Involuntary population displacements and resettlement entailed by development programs have reach... more Involuntary population displacements and resettlement entailed by development programs have reached a magnitude and frequency that give these phenomena worldwide relevance and require policy-guided solutions. The author extracts the general trends and common characteristics revealed by a vast body of empirical data, to construct a theoretical model of displacement and reconstruction. The model captures the socioeconomic content of both segments of the process: forced displacement and reestablishment. It identifies the key risks and impoverishment processes in displacement as: (al landlessness; (b)joblessness; (c) homelessness; (d) marginalization: (e) food insecurity; (f) loss of access to common property resources; (g) increased morbidity; and (h) community disarticulation. Conversely, the model suggests that reconstructing and improving the livelihood of those displaced require riskreversals through explicit strategies backed up by adequate financing. Flawed approaches to reconstruction and the intrinsic limitations of cost-benefit analysis are discussed. The paper shows how the proposed model can be used by practitioners and researchers as a diagnostic tool, a predictive tool, a problem-resolution tool and a research-guidance tool.
How does development economics address the issue of gains and losses from the displacement that i... more How does development economics address the issue of gains and losses from the displacement that inevitably accompanies many development processes? This paper argues that economists have struggled mightily between the core criterion of a "Pareto improvement", which vests individuals with infinite rights in their current standard of living, and its deeply conservative implications—both that it would prevent redistribution away from the rich, and that it would stop most projects from ever taking place. Where they have got to conceptually is a compromise, through using distributionally sensitive weights to evaluate the gains and losses of a project. In practice, however, systematic use of such weights in project appraisal or cost-benefit analysis is rare. Apart from advocating such use, which is true to the spirit of the conceptual position reached in economics, the paper argues that specific compensation mechanisms and generalised safety nets will reduce tensions between prot...
This compendium brings together two papers on cost-benefit analysis and the compensation principl... more This compendium brings together two papers on cost-benefit analysis and the compensation principle in the context of resettlement. Ravi Kanbur’s paper, “Development Economics and The Compensation Principle, ” presents an account of economic thinking, while Michael Cernea’s paper, “For a New Economics of Resettlement: A Sociological Critique of the Compensation Principle, ” presents an analysis from the perspective of a sociologist. Earlier versions of the papers were presented at the Cornell conference on Displacement, November
The editors and editorial board of "Human Organization" 1 are pleased to introduce readers to the... more The editors and editorial board of "Human Organization" 1 are pleased to introduce readers to the following oral history interview with Michael M. Cernea, a development social scientist who has militated throughout his academic career and applied work for "putting people first", in the forefront of development projects and policies. Working for a long time for the promotion of anthropological and sociological knowledge, either in the activities of the World Bank or in the policies and programs of governments of both developed and developing countries, Dr. Cernea cleared pathways for applied social science that are sure to benefit people in development settings for many years to come. Undoubtedly many readers already know Dr. Cernea's work well, especially those of us who teach the anthropology of development or work in applied settings and organizations, but this interview embeds his broad body of work into a personal, human, and at times tragic context that opens with brushes with death, Nazi brutality, and exile. It also provides valuable insights for carrying out the work of development anthropologists within large-scale organizations and governments. This interview with Dr. Cernea was conducted by Dr. Judith Freidenberg, of the University of Maryland, on June 30, 2003, for the Society for Applied Anthropology Oral History Project, headquartered at the University of Kentucky Libraries. This Project aims to create, through the vehicle of oral histories, a record of the life, activities and experiences of a number of selected scholars-anthropologists who devoted a great part of their scientific work to research, to applied work in different settings, to inducing development, including to hands-on work on crafting public social policies and actual development programs. The present transcript of the interview was reviewed by both participants for editorial purposes. Michael M. Cernea expanded some of his oral responses, for historical accuracy or to add relevant elements and facts not provided in the initial oral interaction. Some of the comments made, or questions asked, by Judith Freidenberg were also edited for fluency purposes, to help frame the various parts of the dialogue better. The overall content and structure of the interview were preserved. The subtitles were added during Human Organization's preparation and editing of the text for print.
This paper states that to attain good environmental management it is utterly insufficient to addr... more This paper states that to attain good environmental management it is utterly insufficient to address the environmental requirements alone, instead the sociological variables must also be addressed. These variables are paramount for the use of natural resources by people. The second part presents the case of a successful regional development strategy, grassland and water resource management, in Eastern Senegal, a semi-arid area of West Africa. . The author briefly describes the experience creating an user-based system of managing resources and derives more widely applicable lessons. The paper concludes that the most important factor for success was the presence of a clearly conceptualized and effective operations strategy for building organization structures at the local level in contrast to a simple 'technical package' without sustaining social and institutional local structures.
Les deplacements forces et reinstallations de populations consecutifs a des programmes de develop... more Les deplacements forces et reinstallations de populations consecutifs a des programmes de developpement ont atteint une ampleur et une frequence telles qu'ils sont reconnus comme des phenomenes universels et necessitent des solutions regies par des politiques specialisees. L'auteur identifie les tendances generales revelees par le vaste corpus de donnees empiriques en matiere de reinstallation, pour ensuite esquisser un modele theorique de deplacement et de reconstruction. Ce modele tire avantage des toutes dernieres recherches en matiere de reinstallation et propose un large cadre theorique pour diagnostiquer et anticiper les risques d'appauvrissement. Ce cadre peut servir d'outil operationnel. Le modele suggere egalement que la reconstruction et l'amelioration des moyens d'existence des personnes deplacees exigent une lutte pour renverser les risques de pauperisation au moyen de strategies soutenues par un financement adequat. L'auteur critique les appr...
The region needs good leadership that unites rather than divides; that builds rather than destroy... more The region needs good leadership that unites rather than divides; that builds rather than destroys; that reaches out and is not introverted or locked in ethnic prejudices; that is confident and not insecure; that is transparent and not corrupt; that is humble and not aggressive and arrogant; and that is patient and not intolerant. Above all, the Great Lakes requires leadership that forges a collective vision.
The issues related to the central topic of this conference-"Indigenous Anthropology in Non-Wester... more The issues related to the central topic of this conference-"Indigenous Anthropology in Non-Western Countries"-encompass a broad and complex span of theoretical and epistemological problems. My own angle in approaching this topic, however, is not exclusively a theoretical one. I am also interested in the possible consequences of the concept "indigenous anthropology" on applied anthropological research in developing countries and on the contribution of anthropologists from both western and non-western countries to development programs. More specifically, I am interested in how research carried out by anthropologists from developing countries contributes to social change in their own countries. Sharng my experience both as a field researcher from a non-westem culture and as a sociologist working within an international development agency, I will attempt to bring to your attention some of the issues involved in the actual use of anthropological knowledge by an international agency for operational development purposes. This may possibly bring our discussions closer to the practical relevance of the anthropological endeavor and clarify whether the issue of so-called "indigenous" versus "non-indigenous" field research has any consequence on the uses of the knowledge generated by this research.
Many public and private sector projects, such as hydropower dams or mines, trigger forced populat... more Many public and private sector projects, such as hydropower dams or mines, trigger forced population displacement but fail to resettle people sustainably and instead cause their impoverishment. Social science research has found that one root cause of such failures and of impoverishment is asset dispossession and the insufficient financing of resettlement. Most governments, however, state that (1) compensation alone is sufficient for restoring the income and livelihood of those displaced, and (2) resources to supplement compensation with additional financing are not available. The author critiques and rejects these positions. He offers a theoretical analysis of the limits and flaws of compensation payments for expropriated assets, and argues that resources are available for supplementing compensation with financial investments for resettlers' development. The sources for supplementary financing are the economic rent (windfall profits) generated by natural resource projects such as hydropower or mining and the regular stream of benefits generated by all projects that require resettlement. Further, the author argues that financial investments in resettlers' welfare are indispensable and that benefit sharing is feasible. Therefore, both should become basic principles of resettlement legislation and practice. In addition to theoretical analysis, the author documents with empirical evidence that some countries (China, Brazil, Canada, Columbia and Japan) already make investments additional to compensation for post-displacement reconstruction. The author sums up his argument in these key points: (1).Compensation alone cannot prevent the impoverishment of resettlers and cannot in itself restore and improve their livelihoods; (2).Additional financing is needed for direct investments in resettlement with development; (3).Compensation levels must be increased; (4).Financing resources are available in most cases for investing in resettlers' development, but allocation of investments depends on the political will of governments and project owners; (5).Firm opposition to displacement and under-compensation is growing in many countries and the strength of resettlers' demands and political opposition does influence allocation levels; (6).Mechanisms for benefit sharing and transfer are known and effective and these mechanisms can be adjusted to different country and economic sector conditions; (7).The introduction of benefit-sharing rules requires legislative enactment for robust application.
Bordeaux. 16 Deux textes publiés tout récemment dans Blundo ont abordé cette question pour la pre... more Bordeaux. 16 Deux textes publiés tout récemment dans Blundo ont abordé cette question pour la première fois à notre connaissance. Il s'agit de G. Blundo, Olivier de Sardan, de L. Dartigues et E. de Lescure.
Environment Department Papers, Resettlement Series, Mar 1996
The Bankwide Resettlement Review was initiated in 1992 to encompass all projects with resettlemen... more The Bankwide Resettlement Review was initiated in 1992 to encompass all projects with resettlement in the Bank's portfolio between 1986 and 1993 and to assess consistency between policy and operations. The Bankwide review was assigned to the Environment Department in the Environmentally Sustainable Development Vice Presidency (ESD); the Environment Department established a Task Force to coordinate the review and carry it out jointly with the regional departments. Each of the Bank's operational regions and the Bank's Legal Department formed resettlement review working groups. All regions prepared comprehensive analytical reports on their resettlement portfolios, and these formed he basis of this report. Contributions were also received from the Bank's central Vice Presidencies.
The three objectives of the resettlement review were:
(1) To ascertain the scale of involuntary resettlement in the Bank's portfolio, and determine regional and sectoral trends and composition.
(2) To analyze ongoing resettlement programs for their quality, consistency with policy, and outcomes.
(3) To identify recurrent problems affecting performance, initiate midstream remedial actions, and prepare a follow-up strategy for addressing resettlement more effectively.
Rather than being carried out as a desk-bound and static stock-taking exercise this review was deliberately designed as a broad process of resettlement analysis in the field, carried out by the Bank's relevant regional and central units jointly with the Borrowers. The main product of this comprehensive review is not simply its final report, but the process that the review triggered throughout 1993 across the Bank and on the ground. The review process consisted of intensified field supervision, analysis of project preparation, appraisal, supervision, and implementation, on-site consultation with non-governmental organizations (NGOs), sectoral resettlement studies, development of new technical tools for resettlement planning, and a considerable number of joint remedial actions initiated by the Bank and the Borrowers for projects failing to meet set objectives.
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Papers by Michael Cernea
The three objectives of the resettlement review were:
(1) To ascertain the scale of involuntary resettlement in the Bank's portfolio, and determine regional and sectoral trends and composition.
(2) To analyze ongoing resettlement programs for their quality, consistency with policy, and outcomes.
(3) To identify recurrent problems affecting performance, initiate midstream remedial actions, and prepare a follow-up strategy for addressing resettlement more effectively.
Rather than being carried out as a desk-bound and static stock-taking exercise this review was deliberately designed as a broad process of resettlement analysis in the field, carried out by the Bank's relevant regional and central units jointly with the Borrowers. The main product of this comprehensive review is not simply its final report, but the process that the review triggered throughout 1993 across the Bank and on the ground. The review process consisted of intensified field supervision, analysis of project preparation, appraisal, supervision, and implementation, on-site consultation with non-governmental organizations (NGOs), sectoral resettlement studies, development of new technical tools for resettlement planning, and a considerable number of joint remedial actions initiated by the Bank and the Borrowers for projects failing to meet set objectives.